DAWN HOUSE SCHOOL – STAFF HANDBOOK
Policy Title: Management of Allegations Policy
Section: 1
Policy No: 1.9
Version Date: Spring 2017
Review Date: Spring 2018
Name of Originator: MW
Designation: SBM
DEALING WITH ALLEGATIONS OF ABUSE AGAINST MEMBERS OF STAFF
AND VOLUNTEERS
INTRODUCTION
All children and adults have a fundamental right to be protected from harm.
The Governors of Dawn House School have a duty to safeguard and promote the
welfare of children and create and maintain a safe learning environment (Section
175 of the Education Act 2002). Schools should identify where there are child
welfare concerns and take action to address them, in partnership with other
organisations where appropriate, and in accordance with local inter-agency
procedures.
School staff have a positive role to play in child protection, as their position often
allows them to be able to observe outward signs of abuse and changes of behaviour
in children.
Because of their role however, they are also open to accusations of abuse. Such
allegations may be true, but they may also be false, misplaced or malicious.
To fulfil its commitment to the welfare of children, Dawn House School has a
procedure for dealing with allegations of abuse against members of staff and
volunteers. This policy has been updated to reflect the statutory guidance ‘Keeping
Child Safe in Education’, Sept 2016.
The procedure aims to ensure that all allegations are dealt with fairly, consistently
and quickly and in a way that provides protection for the child, whilst supporting the
person who is the subject of the allegation.
Staff have a statutory obligation to report an allegation directly, or they have a
general concern about malpractice within Dawn House School, reference can also
be made to the ICAN Whistle Blowing Policy.
The procedure complies with the framework for managing cases of allegations of
abuse against people who work with children, as set out in relevant guidance and in
the local inter-agency procedures. The policy should be read in conjunction with the
Whistle Blowing Policy and Code of Conduct.
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SCOPE
The procedure applies to all adults employed by the school and all adults
volunteering in the school.
GENERAL PRINCIPLES
The following procedure should be used in respect of all cases in which it is
alleged that a member of staff or a volunteer in the school has:
-
Behaved in a way that has harmed a child, or may have harmed a
child, or;
Possibly committed a criminal offence against or related to a child, or;
Behaved towards a child or children in a way that indicates he or she
would pose a risk of harm to children.
In addition, the procedure also applies if a concern arises about a member of staff or
his/her private life which indicates that they may be unsuitable to work with children.
It is imperative that everyone who deals with allegations of abuse maintains an open
and enquiring mind. Even allegations that appear less serious must be followed up
and taken seriously. The procedure aims to provide effective protection for the child
and support for the person who is the subject of the allegation.
In response to an allegation, suspension should not be the default option.
individual should only be suspended if there is no reasonable alternative.
An
Allegations that are found to be malicious should be removed from personnel
records and any that are unsubstantiated, false or malicious should not be referred
to in employer references.
Pupils that have made malicious allegations are likely to have breached school
behaviour policies so the school may apply an appropriate sanction such as
temporary or permanent exclusion (as well as referral to the police if there are
grounds for believing a criminal offence has been committed).
Nb: Confidentiality must be maintained by all involved.
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Timescales
It is in everyone’s interests to resolve cases as quickly as possible, consistent with a
fair and thorough investigation and avoid unnecessary delay. Indicative timescales
for each stage of the process are set out in section 4. However, it is recognised that
the time taken to investigate and resolve individual cases may depend on a variety of
factors, including the seriousness and complexity of the case.
Confidentiality
The school will take advice from the LADO, police and social care to agree the
following:




Who needs to know and, importantly, exactly what information can be
shared.
How to manage speculation, leaks and gossip.
What, if any information can be reasonably given to the wider
community to reduce speculation.
How to manage press interest if and when it should arise.
Whilst an allegation is being investigated, every effort should be made to maintain
confidentiality. It might be necessary however, for staff to be informed so far as is
necessary, particularly in the case of allegations involving the Principal.
Consideration will also need to be given as to whether to make a brief statement to
parents of children in school to provide an element of reassurance and to continue to
provide information throughout the investigation.
The police will not normally provide any information to the press or media that might
identify an individual, unless or until the person is charged with a criminal offence.
Information sharing
During an initial evaluation of the case, or strategy discussion (see section 4.3.4), the
agencies concerned should share all the relevant information that they have about
the person who is the subject of the allegation and about the alleged victim.
If applicable and where possible, the police and children’s services social care
should obtain consent from the individuals concerned to share the statements and
evidence they obtain during the course of their investigations with the school for
disciplinary purposes. This should be done as the investigation proceeds rather than
after it is concluded. When considering further action, schools should therefore take
account of any relevant information obtained in the course of those enquiries.
In cases where the person is deemed to be an immediate risk to children, or there is
a risk of criminal offence, in consultation with the LADO it may be decided to involve
the police immediately.
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Suspension
Suspension should not be seen as an automatic response to an allegation. A person
must not be suspended without careful consideration, taking into account the
seriousness and plausibility of the allegation and the risk of harm to the pupil
concerned. Suspension should therefore be intended as a safeguard for both the
child making the allegation and the member of staff against whom the allegation has
been made.
In general, suspension should only be considered in any case where there is cause
to suspect a child is at risk of significant harm, it is necessary to allow any
investigation to continue unimpeded or is so serious that if proven it might be
grounds for dismissal.
The school would also seek the advice of the LADO where an employee’s behaviour
is a matter of concern because it compromises, or may be seen to compromise, the
reputation and ability of the organisation to safeguard children and young people.
The power to suspend is vested in the Principal/Governing Body/ Deputy Chief
Executive Officer.
However, it would be appropriate for the views of the
police/children’s services social care to be canvassed prior to any final decision
being made as to whether to suspend a member of staff. In any event, suspension
should only follow after discussion with the Local Authority Designated Officer
(LADO) contact details – Cheryl Stollery (Tel: 01623 433433)/ICAN HR.
If the initial suspension meeting takes place prior to the strategy discussion, care
should be taken in relation to the amount of information given to the member of staff.
Schools should also consider whether the result that would be achieved by
suspension could be achieved by alternative arrangements, such as paid leave of
absence, additional supervision, undertaking different duties at school or at home.
A decision to suspend can be made at any stage during the investigation process,
reviewed in the light of new evidence and should be carried out in accordance with
the procedure set out in the Dawn House Disciplinary Policy.
Suspension or alternative measures should be in place for as short a length of time
as possible and if it is agreed that a member of staff is to return to work, careful
planning needs to take place to ensure the situation is managed as sensitively as
possible. Most people will benefit from help and support to return to work after a
stressful experience. Depending on the individual’s circumstances, a phased return
and/or the provision of a mentor to provide assistance and support in the short term
may be appropriate. The school should also consider how the person’s contact with
the child or children, who made the allegation, can best be managed if they are still a
pupil at the school or college.
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Records
Details of allegations that are found to have been malicious should be removed from
personnel records. However for all other allegations, it is important that a clear and
comprehensive summary of the allegation, details of how the allegation was followed
up and resolved, and a note of any action taken or decision reached, is kept on the
confidential personnel file of the accused and a copy provided to the individual.
All documents relating to an investigation must be retained until at least the person
has reached normal retirement ages or for a period of 10 years from the date of
allegation, if that is longer. This includes all allegations, even if unfounded or
malicious (refer to definitions at Appendix A). This enables accurate information to
be given in response to any future request for a reference and will help provide
clarity where a future positive DBS return reveals police information that an
allegation was made but did not result in a prosecution or conviction. Such a record
also serves to protect the employee from unnecessary re-investigation if allegations
resurface after a period of time. The record should be retained until at least the
accused has reached retirement age or for a period of 10 years, from the date of the
allegation, if that is longer.
Some cases must be reported to NCTL for consideration of including the person on
the NCTL Prohibited List: Details of procedures can be accessed via the link below:
https://www.gov.uk/guidance/teacher-misconduct-regulating-the-teaching-profession
A copy of the allegation should also be placed on the pupil’s file, together with a
written record of the outcome.
Support
Parents or carers of a child or children involved should be told about the allegation
as soon as possible (with the proviso of 4.2.3). They should also be kept informed
about the progress of the case, including suspension and told the outcome where
there is not a criminal prosecution. This also includes the outcome of any
disciplinary process. Parents should be advised confidentiality should be maintained
by all involved.
In cases where a child may have suffered significant harm, or there may be a
criminal prosecution, children’s services social care or the police as appropriate,
should also consider what support the child, children and their parents may need.
The school should keep the person who is subject of the allegations informed of the
progress of the case and consider what other support is appropriate, such as making
them aware of the Staff Counselling Service where appropriate. If the person is
suspended, they should be kept informed about developments at the school. Social
contact with colleagues and friends at the school should not necessarily be
precluded.
A Guidance leaflet will be made available to all staff who are facing an allegation of
child abuse. It would also be appropriate for schools to ask the individual whether
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welfare counselling or the support of a medical adviser (Occupational Health) would
be beneficial.
Depending on the circumstances of the alleged abuse, support for others at the
school, both staff and pupils might also need to be considered.
If the allegations are unfounded and no action is to be taken against the member of
staff, the Principal/Chair of Governors/CEO should still consider whether counselling
and/or informal professional advice might be appropriate for all parties, to help
rebuild confidence where necessary. Phased return on full pay for the member of
staff could be considered and/or the provision of a mentor. A meeting with the
employee to discuss such matters would also be helpful.
Resignations
The fact that a person tenders their resignation must not prevent an allegation being
followed up in accordance with the procedure outlined at section 4.
It is important that every effort is made to reach a conclusion in all cases, including
any in which the individual concerned refuses to co-operate with the process.
Compromise/settlement agreements must not therefore be used in any allegation
cases.
Oversight and monitoring
The LADO has overall responsibility for the oversight of the procedures for dealing
with allegations and will provide advice and guidance to schools, as appropriate.
The LADO will also monitor the progress of cases and liaise with the police and other
agencies to ensure that cases are dealt with as quickly as possible, consistent with a
fair and thorough process.
The contact details for the designated LADO are set out at Appendix A of this
document.
HR will work with the LADO to ensure the appropriate application of this procedure
and will provide specific advice in cases of formal disciplinary action.
PROCEDURE
Step 1: Reporting of Allegations.
All allegations should be reported to the Principal immediately, the Principal will liaise
closely with the Designated Safeguarding Lead in liaising with other agencies.
Unless the allegation is about the Principal in which case it should be reported to
ICAN CEO, Bob Reitemier (Tel: 020 7843 2511) and the Chair of Governors.
A written, dated record must be made by the Principal/CEO of the allegations as
soon as practicable, but within 24 hours.
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The LADO should be informed of all the allegations that come to the school’s
attention so that they can consult the police and children services social care
colleagues as appropriate. If the allegation falls under the remit of 3.1 above, the
case should be reported to the LADO on the same day, where practicable.
The LADO should also be informed of any allegations that are made directly to the
police or children’s services social care.
The Principal/CEO should not investigate the allegation at this stage. However,
serious consideration will need to be given as to whether it is appropriate to suspend
the individual concerned (reference 3.7).
Step 2: Informing relevant parties
The Principal/CEO should inform the accused person about the allegation as soon
as possible AFTER consulting the LADO and subject to 4.2.3 below. If the person is
a member of a union or professional association, they should be advised to contact
that organisation.
If the parents/carers of the child concerned are not already aware of the allegation,
the LADO should also discuss with the Principal/CEO how and by whom they should
be informed.
However, where a strategy discussion is needed, or the police or children’s services
social care need to be involved (see 4.3.4 below), the Principal should not inform the
relevant parties until those agencies have been consulted and agreed what
information can be disclosed.
Step 3: Initial Evaluation
There may be up to 3 strands in the consideration of an allegation:
-
A police investigation of a possible criminal offence.
Enquiries and assessment by children’s services social care about
whether a child is in need of protection or in need of services.
Consideration by the school of disciplinary/capability action in respect
of the individual.
The LADO should discuss the matter with the Principal/CEO, establish that the
allegation is within the scope of these procedures and where necessary, obtain
further details of the allegation and the circumstances in which it was made.
Consideration should also be given as to whether any other children may be likely to
be at risk, in the light of the allegation and whether it might be necessary to review
any previous allegations made.
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If there is cause to suspect that a child is suffering or is likely to suffer significant
harm, the LADO will contact children services social care and ask for a strategy
discussion to be convened straight away. The focus of this discussion will be on the
needs of the child or children who may be at risk - following the statutory guidance to
safeguarding children 2015.
The strategy discussion should include the LADO, ICAN HR and the Principal/CEO
and take account of information that the school can provide about the circumstances
or context of the allegation and the pupil and member of staff concerned.
If the `threshold of significant harm’ has not been reached, but a police investigation
might be needed, the LADO should conduct a similar discussion with the police,
school and other agencies to evaluate the allegation and decide how best to deal
with it.
If the allegation is about physical contact, the strategy discussion or initial evaluation
should take account of the fact that teachers and other school staff are entitled to
use reasonable force to control or restrain pupils in certain circumstances (see also
Dawn House School Code of Conduct and Use of Reasonable Force policies).
However, the police must always be consulted about any case in which a criminal
offence may have been committed.
Step 4: Action following initial evaluation
If the child or children appear to be at risk of significant harm in need of protection,
there should be an urgent referral to local child protection agencies in accordance
with the Nottinghamshire Local Safeguarding Board’s procedures.
If as a result of the strategy discussion, there is reasonable belief to suggest that a
criminal offence has been committed, the police will carry out a full investigation as
outlined in section 4.6.
Where the initial consideration decides that the allegation does not involve a possible
criminal offence or that there is no significant risk to the child, the LADO should
discuss the next steps with the Principal/CEO and institute action as appropriate
within 3 working days.
The options open to the school depend on the nature and circumstances of the
allegation and the evidence and information available and will range from taking no
further action to summary dismissal.
The LADO should continue to liaise with the school to monitor the progress of any
case and provide advice and support as necessary. Reviews should be conducted
at fortnightly or monthly intervals depending on the complexity of the case.
Malicious allegations (refer to Appendix A for definitions).
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If the allegation is considered to be false, the LADO should refer the matter to
children’s services social care to determine whether the child concerned is in need of
services, or may have been abused by someone else.
In respect of malicious allegations, consideration should also be given to whether
disciplinary action against the pupil who made the allegation is appropriate including
permanent exclusion when necessary and/or referral to the police.
The member of staff should be informed of the allegation verbally and in writing, if
this has not already been done in line with 4.2.1. The suspension should be lifted
immediately, if applicable. They should be told of the fact that no further action will
be taken in accordance with disciplinary/child protection procedures and relevant
support considered in respect of their return to work as well as other factors as
appropriate on a case by case basis.
Where an allegation is show to be malicious: All records of the allegation must be
removed from the personnel file and the allegation should not be disclosed on any
subsequent reference. Where an allegation is not substantiated or shown to be false
details minute of meetings will be retained on the personnel file but the allegation
should not be disclosed on any subsequent reference even if there appears to be a
pattern of allegations.
The Principal/CEO should also inform the parents of the child or the children of the
outcome and consider what counselling and support would be appropriate. Advice
and support should be sought from the LADO, as appropriate.
When a decision is made to take no further action, a written record should be made,
including the reason for the decision. A copy of this should be provided to the
employee.
Staff facing allegations should be protected by anonymity and every effort made to
maintain confidentiality and guard against unwanted publicity following the reporting
restrictions of the Education Act 2002.
Police investigation
If a criminal investigation is required, the police will aim to complete their enquiries
as quickly as possible, consistent with a fair and thorough investigation and will keep
the progress of the case under review.
A target date should be set for reviewing the progress of the investigation and this
should take place no later than 4 weeks after the initial evaluation.
When a decision has been made not to charge the individual with an offence or
administer a caution, the police should, wherever possible, aim to pass all the
information they have to the school within 3 working days, as this may be relevant to
a disciplinary case.
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If the person is convicted of an offence the police should inform the school straight
away. The action the school might take will depend on the circumstances of the
case and consideration will need to be given to the different standard of proof
required in disciplinary and criminal proceedings. For example, it may be the case
that whilst there is no criminal prosecution that the standard of proof required for
employment law purposes deems that dismissal is appropriate.
Disciplinary action
If a disciplinary hearing is required and can be held without further investigation, the
hearing should be held within 15 working days in accordance with ICAN’s
Disciplinary Policy.
Notwithstanding 4.6.1 above, if a police investigation is being undertaken,
consideration will need to be given as to whether disciplinary action can be taken in
parallel with the criminal process, or whether the disciplinary process will need to
await completion of the police enquiries and/or prosecution. In cases where a
disciplinary investigation/action is undertaken in parallel with the criminal process it
will have been agreed with the police that there is no requirement to await the
completion of enquiries and/or prosecution.
Where further investigation is required to inform consideration of disciplinary action,
the Principal/CEO should appoint an appropriate level Investigating Officer which
should ideally be their line manager, in consultation with ICAN HR.
If further evidence comes to light during the course of the investigation, referral to
child protection agencies may need to be considered.
The investigating officer should aim to provide a report to the school within 10
working days.
Within 2 working days of receipt of the report, the Principal/CEO should consult
ICAN HR and decide whether a disciplinary hearing is needed. If this is the case,
the hearing should be held within 15 working days.
Step 5: Referral to DBS/NCTL or others
Where it is believed a person has harmed or is likely to harm a child or poses a risk
to children, there is a legal duty to refer to the DBS of the person was in regulated
activity and the:



Allegation was substantiated and person was dismissed (or employer
ceased to use their services)
Person resigned before the case could be concluded.
Or the person is still employed but has been removed from regulated
activity.
Professional misconduct cases should be referred to the relevant regulatory body.
The DBS will consider whether to bar the person. Guidance on referrals can be
found on www.gov.uk.
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Schools and colleges have a legal duty to refer to the DBS anyone who has harmed,
or poses a risk of harm to a child or vulnerable adult; where the individual has
received a caution or conviction for a relevant offence, or if there is reason to believe
that individual has committed a listed relevant offence; and that individual has been
removed from working (paid or unpaid) in regulated activity or would have been
removed had they not left.
Where an allegation against a teacher has been substantiated on conclusion of the
case, the school should consult the LADO who will also liaise with HR about whether
a referral to NCTL for consideration of misconduct is required, or advisable. If a
referral is appropriate the report should be made within one month.
https://www.gov.uk/guidance/teacher-misconduct-regulating-the-teaching-profession
Step 6: Formal Review
In cases where an allegation has been substantiated, the LADO should review the
circumstances of the case with the Principal/Deputy CEO and determine whether
there are any improvements that could be made to the school’s procedures/practice,
to help prevent similar events occurring in the future.
Reviewed: September 2016
Next Review: September 2017
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Appendix A
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Appendix B
Definitions
(i)
No further action after initial consideration
Initial consideration means the discussion about whether the alleged incident
constitutes an allegation within the scope of the Local Safeguarding Children Board
(LSCB) procedures, i.e. the initial discussion with the LADO, Social Care or Police
following which there may be no need for further action under the procedures. It
does not mean following an initial assessment undertaken in accordance with the
Framework for the Assessment of Children in Need and their families.
Types of allegation:




1.1
Substantiated: there is sufficient identifiable evidence to prove the allegation.
False: there is sufficient evidence to disprove the allegation.
Malicious: there is clear evidence to prove there has been a deliberate act to
deceive and the allegation is entirely false.
Unsubstantiated: this is not the same as a false (malicious) allegation. It
simply means that there is insufficient identifiable evidence to prove or
disprove the allegation. The term, therefore, does not imply guilt or evidence.
Chair of Governors/Deputy CEO
Responsible for liaising with the Principal/designated teacher at the school over
matters regarding child protection issues, or in the case of allegations against the
Principal, liaising with the LA designated officer/I CAN HR over appropriate action to
take.
1.2
Local Authority Designated Officer (LADO)
Has overall responsibility for ensuring that the school and LA have procedures for
dealing with allegations, resolving any inter-agency issue and liaising with schools
and the Local Safeguarding Children Boards (LSCB) on the subject.
The LADO role for schools in Mansfield is fulfilled by Cheryl Stollery, the
Safeguarding Officer (Tel: 01623 433433)
1.3
Nottinghamshire Safeguarding Children Board
Key statutory mechanism for agreeing how the relevant organisations in each local
area will co-operate to safeguard and promote the welfare of children.
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Appendix C
THE INVESTIGATING OFFICER
Nominating the Investigating Officer (IO)
Allegation against any member of staff/volunteer (except the Principal):
NB – throughout these notes, ‘head teacher’ also refers to the principal and may in some
cases denote the proprietor of an organisation.
When the Principal becomes aware of a potential disciplinary matter he/she should nominate
an IO bearing in mind the following points:
1. He/she should be a person with no involvement whatsoever in the matter under
investigation.
2. The person nominated should wherever possible be a senior member of the school staff.
This should normally not be the Head teacher. The Deputy HT would normally carry out
this role or possibly the next most senior member of staff.
3. In certain exceptional cases the HT may choose to act as IO. It is recommended that the
HT fulfils the role only in those cases where:
a) A senior member of staff is the subject of the investigation.
b) The deputy head and/or other senior member of staff may be called as a witness.
c) Where there is no senior member of staff available who does not have detailed prior
knowledge of the case.
4. Where in exceptional cases the Head teacher and the other senior staff cannot act as IO,
one may be available from HR/legal provider or an independent investigator may be
required.
5. Where the subject of the investigation involves a member of staff, written instruction to
undertake the investigation should be issued by the Head teacher to the IO.
In arriving at the decision as to who to nominate as IO, the HT is reminded that it is a
fundamental principle that disciplinary matters are dealt with at the lowest level possible,
appropriate to the disciplinary matter under investigation. The HT should consider the
appropriateness of presenting a case to the governing body which is, in disciplinary terms, of
relatively minor importance. Therefore, in such cases the HT may wish to consider using
another individual to carry out the investigation, for example an officer from HR.
Allegation against the Head teacher/Principal
The governing body/proprietor should determine who should act as IO e.g. a member of the
governing body or an external investigator.
A written instruction to undertake the investigation should be issued by the governing
body/proprietor to the IO.
Role of the Investigating Officer
The IO’s brief is to establish the facts of the case by gathering information. Before
commencing an investigation, advice and guidance should be sought from the appropriate
HR officer or provider on how to conduct an investigation.
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If the matter under investigation involves an allegation(s) of professional abuse and the
police or children’s social work agencies are involved then the school’s investigation may
have to be held in abeyance until the external investigation has been completed. Advice on
whether to proceed should be sought from the Local Authority Designated Officer (LADO).
The whole process of the investigation should be undertaken in the strictest confidence.
How to conduct the investigation
Principles of conducting an investigation:
 The investigation should be free from bias and meet the requirements of natural justice.
All concerns should be put to the employee and they should be allowed to respond.
 At all stages of the process, confidentiality must be maintained by all parties.
 A timescale should be provided at the beginning of the investigation to all parties
concerned and every effort should be made to achieve this. However, if this is not
possible, all parties should be informed and given reasons why.
 All parties have the right to be accompanied by a trade union representative or work
colleague not involved in the case throughout the investigation process.
Meeting the member of staff
The IO will usually meet the member of staff whom the allegation/complaint is against (with
their trade union representative or a work colleague should they wish) and explain that this is
a formal investigation.
The member of staff will be given information about the
allegation/complaint (verbally and in writing) and the procedure to be followed will be
explained. The information should be given in sufficient detail for the member of staff to
understand the overall matter of concern.
Before commencing the investigation




Identify details of the precise issue to be investigated, e.g. details of
allegations/complaint made etc.
Suggested methodology for conducting investigations, e.g. identification of initial
witnesses, copies of policy being breached etc.
Under which school policy or procedure the investigation is being conducted.
Clarify what purpose and by whom any investigation report will be used.
Preparation for the investigation interviews
The IO should:
 Ensure that enough time has been set aside to hold the interview confidentially, in a
private room that is available without any interruptions.
 Ensure that all necessary information is available during the course of the meeting, e.g.
copies of policies/procedures etc.
 Prepare a list or structure of challenging questions in relation to the alleged
incident/allegation.
 If not using a digital recorder, ensure that an appropriate person is available to take
detailed notes of the meeting, for use within the investigation process/report where
appropriate.
All staff interviewed as part of the investigation are entitled to be accompanied by a trade
union representative or a work colleague (who is not involved in the matter). The employee
should be written to stating the date/time and venue, the purpose of the meeting and the
right to be accompanied.
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Conducting the investigation interviews
Where possible, the interviews should be conducted in the following suggested order:
 The person raising the allegation/complaint should be interviewed first.
 Witnesses should be interviewed one at a time. There may be a need to re-interview
witnesses during the investigation process. Additional witnesses may be identified
during the investigation and must also be interviewed.
 The person whom the allegation/complaint is against should be interviewed last.
 Care should be taken to avoid any opportunity for collusion.
When considering whether to interview children who may be involved as witnesses please
refer to the LADO for advice first.
The structure of the investigation interview




Explain the context of the interview and the member of staff’s right to representation.
For what purpose the meeting notes or transcript and subsequent record of interviews
will be used.
How and when the interviewee will be able to check the notes/record of interviews.
Reiterate the importance of confidentiality.
The interview itself is to ascertain facts and there may be times when a series of specific
questions requiring specific answers may need to be put to interviewees. Fair, open and
challenging questions may be used to probe answers to establish the facts. The interviewer
should avoid any speculation or opinion.
Questioning





Use open questions (who, what, why, when, how, etc.).
Use closed questions in order to clarify points. Leading questions should not be used
when interviewing witnesses.
Discuss and enquire into any additional information for clarification.
Ensure that specific examples are provided when unsubstantiated descriptions are
given, i.e. ‘bullying’ or ‘inappropriate behaviour’ etc.
Where physical force is alleged to have been used then the degree of force should be
clarified.
Once questioning is complete, re-cap and clarify main points of discussion, ensuring that the
notes taken are accurate and answer any appropriate questions or concerns raised.
Closing statement


Explain the next steps, confirming how/when the record of interview is to be prepared
and verified and when the investigation is expected to be completed.
Ensure that contact details of the IO are provided and ensure confidentiality is fully
understood.
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At the end of the investigation, interview the IO should have obtained from each witness:
 The names of those present or involved.
 Date/time/place of the alleged incident/allegation.
 Details of what took place and the order in which they happened.
 How the individual reacts to any other documents or witness evidence which is
inconsistent with their account.
 The steps taken since the alleged incident/allegation, including any steps taken to
resolve the matter.
 Their preferred outcome (in cases of complaint).
Records of interviews





Any notes taken during the investigation interviews (or the transcript if digital recording
was used) should be typed, checked and signed by the interviewee. The record of
interview should record the facts, written (within reason) in the language used by the
interviewee following the train of events.
If there is any ambiguity or gap in the account these should be clarified with the
interviewee.
The interviewee must be given the opportunity to review the statement and must only
sign to confirm it as a true and accurate version of events.
Once the record of interview is typed, the employee should be allowed sufficient time to
read it through, make any amendments/additions as necessary and sign and date the
record at the bottom of each page. Any amendments should be initialled. Where
possible, it is advised that the record is typed and signed as soon as the interview has
been completed.
Where records of interviews cannot be taken, the IO may ask the interviewee to provide
a written statement which can be prepared with their trade union representative. In
these cases, the statement should be checked by the IO and included in the
investigation report.
Evaluating the evidence
All of the relevant evidence gathered during the investigation should be reviewed and
collated for use within the investigation report. This should include:
 Any record of interviews.
 Notes from investigation interviews.
 Relevant policies and procedures.
 Evidence of custom and practice etc.
This evidence should be evaluated, particularly where there are contradictions or conflicts
which the IO must consider. In evaluating evidence, each case should be judged on its
merits; however, the following points should be considered:





Direct witness evidence will usually be stronger than indirect information relating to the
incident/allegation.
Evidence which is inconsistent with documents produced at the time is questionable.
Evidence which is vague, is unsubstantiated opinion or hearsay, omits significant details
or contains inherent contradictions is questionable.
Anonymous evidence should be reviewed with caution as it is often difficult to
substantiate.
Consideration should be given to any bias, motivation or influence individual witnesses
may have.
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
Where possible, the factual accuracy of points raised in records of interviews should be
verified by the investigating officer if they are material to the allegations/complaints.
It is important to remember that in reviewing the evidence and recommending appropriate
courses of action, the IO only has to show they have a reasonable belief of what happened
based on their assessment of the evidence. Unlike a legal case, there is no requirement to
prove a case ‘beyond reasonable doubt’.
Writing the investigation report
An investigation report should be written by the Investigating Officer and should normally be
structured as follows:
1. Table of contents.
2. Terms of reference for the investigation.


A brief introduction to the report clarifying the allegation/incident which have been
investigated.
Details of the person against whom the allegation/complaint has been made, including
whether they are currently suspended from duty and the name of the Investigation
Officer.
3. Methodology.
This section should detail the process of the investigation including:
 Details of any other activities undertaken as part of the investigation (watching videos
etc.).
 A list of the people interviewed, including their post title and dates of any interviews that
have taken place.
 List of documents used, including any details of school policies and procedures
reviewed.
4. Findings/analysis.
This will be the largest section of the report and will detail the findings from the investigation,
including:
 Facts and evidence presented.
 Any inconsistencies found with explanations, where applicable.
 Any mitigating circumstances and any risks identified.
 Where information from particular witnesses is cited, note must be made of the relevant
appendices where the record of interviews can be found.
5. Conclusion (recommendations where appropriate).


Where appropriate, a final section could include the conclusions drawn by the
Investigating Officer following the evaluation of the evidence.
Recommendations are not mandatory, but in the case of disciplinary investigations
should indicate the recommended next steps or the initiation of any other procedure,
following issues highlighted during the investigation.
NB: It is not the responsibility of the Investigating Officer to recommend sanctions or to
uphold allegations.
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6. Appendices.

Record of interviews from meetings, copies of correspondence or policies cited during
the report should be included.
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Appendix D
Reference documents
‘Keeping Child Safe in Education’ (September 2016)
https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/41959
5/Working_Together_to_Safeguard_Children.pdf
Dealing with Allegations of Abuse: Part 4 Pages 40-49
Teacher misconduct: the prohibition of teachers: Advice on factors relating to
decisions leading to the prohibition of teachers from the teaching profession (June
2015)
https://www.gov.uk/guidance/teacher-misconduct-regulating-the-teaching-profession
“Working Together to Safeguard Children” (March 2015)
Sets out how individuals and organisations should work together to safeguard and
promote the welfare of children.
https://www.gov.uk/government/publications/working-together-to-safeguard-children-2
Use of Reasonable Force
Allows all teachers to use reasonable force to prevent a pupil from committing a
criminal offence, injuring themselves or others, damaging property, acting in a way
that is counter to maintaining good order and discipline at the school.
https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/26877
1/use_of_reasonable_force__advice_for_headteachers_staff_and_governing_bodies__-_final_july_2013_001.pdf
Complaints about a school: https://www.gov.uk/complain-about-school
ICAN Whistleblowing Policy – A Framework by which staff can voice their
concerns in good faith about practice within the school without fear of repercussion
and in accordance with the Public Interest Disclosure Act 1998.
Dawn House School Staff Code of Conduct – Guidelines for Safe Working
Practice for the Protection of Children and Staff
Dawn House School Staff Dress Code – Guidelines about acceptable mode of
dress
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